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Showing 4671 to 4680 of 4723 search results for final notice refers.
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FCA fines Lloyds Banking Group firms a total of £28,038,800 for serious sales incentive failings
The Financial Conduct Authority (FCA) has fined Lloyds TSB Bank plc and Bank of Scotland plc, both part of Lloyds Banking Group (LBG), £28,038,800 for serious failings in their controls over sales incentive schemes. -
FCA fines Yorkshire Building Society £4,135,600 for failings in dealing with customers in mortgage arrears
The final notice for YBS. -
FCA fines The Bank of New York Mellon London branch and The Bank of New York Mellon International Limited £126 million for failure to comply with the Custody Rules
The final notice for The Bank of New York Mellon London Branch / The Bank of New York Mellon (International) Ltd. -
FCA bans Paul Steel for unsuitable defined benefit transfer advice with £850k to be paid in redress
The FCA has banned Paul Steel of Estate Matters Financial Ltd (EMF) from working in financial services. -
FCA fines Towergate and former director Timothy Philip for client and insurer money failings
Final notices for Towergate Underwriting Group Limited and Timothy Philip. -
Financial adviser banned and fined £300,000 after clients lost out investing in companies he controlled
Final notice for Peter Thomas Carron. -
FS21/8: Feedback to consultation paper on liquidity mismatch in authorised open-ended property funds
We consulted on reducing the potential for investor harm where the terms for dealing in some property funds are not aligned with the time it takes to buy or sell the buildings in which the funds invest in. -
FCA bans and fines Floris Jakobus Huisamen over London Capital & Finance plc financial promotions
The FCA has fined a former director of London Capital & Finance plc (LCF) £31,800 and banned him from working in financial services. Floris Jakobus Huisamen was responsible for compliance at LCF but recklessly signed off hundreds of financial -
FCA bans Nigel Lewis and Susan Jones for incompetent British Steel Pension Scheme advice
The Financial Conduct Authority (FCA) has banned Nigel Lewis and Susan Jones of West Wales Financial Services Limited (in liquidation) (WWFS) from advising customers on pension transfers and pension opt outs. Mr Lewis has also been banned from -
The FCA’s new competition powers: what do they mean for the financial services industry?
Speech by Deb Jones, director of competition at the FCA, at a Scottish Financial Enterprise lunch, hosted by Maclay Murray & Spens LLP, Edinburgh. This is the text of the speech as drafted, which may differ from the delivered version.